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SMT Update To AMWG. June 23, 2014. Status Update of AMWG Change Requests Approved by Retail Market Subcommittee (RMS). Status of AMWG Change Requests. 17 Total AMWG Change Requests 3 AMWG Change Requests in Delivery for Q4 2014 with Third Party

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SMT Update To AMWG

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Smt update to amwg

SMT Update To AMWG

June 23, 2014


Status update of amwg change requests approved by retail market subcommittee rms

Status Update of AMWG Change Requests Approved by Retail Market Subcommittee (RMS)


Status of amwg change requests

Status of AMWG Change Requests

  • 17 Total AMWG Change Requests

  • 3 AMWG Change Requests in Delivery for Q4 2014 with Third Party

    • AMWG CR 2013 012, AMWG CR 2013 013, and AMWG CR 2013 014

    • The SMT Usability Study Conducted in 2013 Identified Enhancements Approved for Implementation to SMT

    • These 3 AMWG Change Requests are Covered by the Approved Enhancements from the Usability Study and Were Already Targeted to be Delivered with Third Party

  • 2 AMWG Change Requests Targeted for Delivery Q2 2014

    • AMWG CR 2013 016 and AMWG CR 2013 017

    • These 2 AMWG Change Requests were Already Covered by Efforts in Progress by SMT to Relieve Market Requests Causing Significant Challenges to SMT Help Desk Ticket Volume, SMT Maintenance Backlog, and Infrastructure Resource Utilization


Status of amwg change requests1

Status of AMWG Change Requests

  • 5 AMWG Change Requests Targeted for Delivery in Q2 2014

    • AMWG CR 2013 002, AMWG CR 2013 005, AMWG CR 2013 006, AMWG CR 2013 007, and AMWG CR 2013 009

    • These 5 AMWG Change Requests are Covered by Reports Already Existing in Place Internally to the SMT Joint TDSPs.

    • These Require Minimal Effort to Repurpose to the Market and are Zero Dollar Estimates

    • Minor Contract Revisions are Required with SMT Vendor to Publish These Existing Reports Externally to the Market. These Revisions will be Complete in Q2 2014

  • 7 AMWG Change Requests in Process for SMT Joint TDSP Estimation Process Step

    • AMWG CR 2013 001, AMWG CR 2013 003, AMWG CR 2013 004, AMWG CR 2013 008, AMWG CR 2013 010, AMWG CR 2013 011, and AMWG CR 2013 015

    • These 7 AMWG Change Requests are all New Requirements requiring New Development and will be in Process of Estimation with the SMT Joint TDSPs as Resources are Available in 2014


Smt update to amwg

AMWG / RMS Change Requests


Smt update to amwg

AMWG / RMS Change Requests (Cont.)


Report formats amwg cr 2013 002 amwg cr 2013 005 amwg cr 2013 006 amwg cr 2013 007 amwg cr 2013 009

Report FormatsAMWG CR 2013 002, AMWG CR 2013 005, AMWG CR 2013 006, AMWG CR 2013 007, AMWG CR 2013 009


Monthly smt data timeliness amwg cr 2013 002 end to end file processing completeness nov 2012

Monthly SMT Data Timeliness AMWG CR 2013 002End to End File Processing Completeness – Nov 2012

% Timely Market Delivery - # of files posted to market (FTPS) by 11:00pm out of # of files received by SMT by 11:00pm.

% Portal Data Availability - # of files loaded to the database for data availability on portal by 6:00am next day for the files received by 11:00pm

* A LSE file includes usage data for upto 50,000 ESIIDs. The master files are also considered for above metrics.

(Note: the above times are observed times and there is no associated SLA obligation)

Observed Anomalies:

  • 11/04 - Received 118 files from CNP after 11 PM CST

  • 11/12 - Received 77 files from TNMP after 11 PM CST

  • 11/23,24,25 & 30 – Data loading issues at SMT

8


Smt update to amwg

Monthly SMT Help Desk Tickets AMWG CR 2013 005


Smt update to amwg

Availability of SMT API AMWG CR 2013 006


Smt update to amwg

Availability of SMT FTPS AMWG CR 2013 007


Smt update to amwg

SMT Number of Accounts by Type AMWG CR 2013 009


Smt update to amwg

Update on Approved AMWG Change Requests

Under Development

AMWG CR017

Interim Processes for

Historical Backfill Requests

and

Subscription for New Customer History


Amwg change request 2013 17

AMWG Change Request 2013-17

  • Requirements outlined in Change Request approved by RMS

    • Backfill of Historical Usage Data for Existing Customers - Ability for the REP of Record to request a one-time retrieval of historical interval usage data (up to 12 months) for some or all of its existing customer base (backfill requests)

      • Delivered December 18, 2013

      • Fulfilled Multiple Requests to Date

      • Plan to Re-Announce to Market with Subscription Functionality in May

    • Subscription for New Customer Enrollment Historical Usage -Ability for the REP of Record to subscribe to automatically receive a one-time report of historical interval usage data (up to 12 months) for customers/ESIIDs that are newly served by them (new enrollments)

      • Solution is Fully Tested and Deployed to Production

      • In Process of Developing Instructions and Request Form

      • Target Rollout and Market Announcement in May


Subscription for automated new enrollment customer historical data

Subscription For Automated New Enrollment Customer Historical Data

ROR contacts the SMT Help-Desk by phone 1-888-616-5859 or via email [email protected] to create a ticket to subscribe for automated new customer enrollment historical usage

Day 0

Create the SMT change ticket to initiate the Subscription for the New Customer Enrollment report and attach proper authorization.

ROR activity

START

Day 0

SMT activity

Create the change ticket for bulk report and attach that authorization email as a reference

Create the change ticket for bulk report and attach that authorization email as a reference

Create the change ticket for bulk report and attach that authorization email as a reference

Create the change ticket for bulk report and attach that authorization email as a reference

1-2 days

Business days from previous milestone

x days

The SMT help desk sends the subscription request form to the ROR. The form will also be available for retrieval from the ERCOT AMWG website location. The ROR fills in the request form and returns to the SMT Help Desk

Day 0

Enable Enrollment Report Job for ROR requested DUNs

END

1-3 days

SMT Help desk creates a ticket and assigns it to SMT Maintenance team

1 day

Close the ticket if no response within 10 days after 2 reminders

END

SMT performs validation of requested information

Send email notification to ROR to confirm subscription for new customer enrollment history is ready to be enabled After confirmation receipt back from ROR new customer enrollment history files will flow to the ROR FTP site daily.

1 day

1-10 days

NO

Close the Help Desk tickets

SMT validates proper authorization of the request

1st Reminder communication (after 5 business days)

2ndReminder follow up communication (after 5 business days)

Authorized?

.

YES

No Authorization Received or Requested Information Missing


Smt update to amwg

6 months

12 months

ROR REQUEST FORM

SUBSCRIPTION FOR NEW CUSTOMER HISTORICAL DATA


Ftps access ror customer new enrollment history

FTPS Access – ROR Customer New Enrollment History

  • The new customer enrollment historical information will be placed in a separate file under each DUNS number.

  • The files will be held for 10 days prior to deletion

  • There can be up to 100 records in a file

  • File naming conventions:

  • EnrollmentReport_MonthlyMeterUsage_DATETIME.CSV.FileNUM.REPDUNSNumber

  • EnrollmentReport_DailyMeterUsage_DATETIME.CSV.FILENUM.REPDUNSNUMBER

  • EnrollmentReport_IntervalMeterUsage_DATETIME.LSE.FILENUM.REPDUSNNUMBER


Smt update to amwg

Update on Approved AMWG Change Requests

Under Development

AMWG CR016

Capability for RORs to Grant Access to SMT APIs and SMT FTPS to Vendors on Their Behalf


Api ftp access to multiple entities requirements

API & FTP Access to Multiple Entities - Requirements

  • Ability for the RORs to allow API access for unlimited multiple entities in addition to retaining their own access, with appropriate approval mechanism.

  • Ability for the RORs to allow FTP access for multiple entities in addition to retaining their own access, with appropriate approval mechanism.

  • Background -

    • These multiple entities are typically Billing, EDI or Demand Response partners working on behalf of the REPs.

    • Currently only one entity can have access to API and FTP of one DUNS entity


Solution approach

Solution Approach

  • API Access

    • Each entity uses its own security certificate

    • ROR creates a portal user (non-admin) for the new entity

    • SMT shares ROR’s API account access details to the new entity

    • SMT works with the new entity to configure and accomplish integration

  • FTPS Access

    • Each entity uses its own security certificate

    • SMT enables additional FTP access for the new entity on the existing FTPS account and shares the details

    • SMT works with the new entity to configure and accomplish integration

    • ROR has to share their PGP decryption key to new entity

      • This is the least effort and less resource consuming alternative. The other option is to create a new FTP account for new entity with their own PGP key, however it will require the files to be processed twice and a duplicate copy of the files with separate encryption to be stored at FTPS which requires processing power as well as space.

    • SMT restricts DELETE permission to all FTP accounts, to avoid deletion of files by one entity while the other has not downloaded it. The deletion will be performed by SMT as per the 10 days retention rule. There will be minor storage impact to retain more files as the immediate deletion that some entities are doing currently will be stopped.


Pre requisites from rors new entities

Pre-Requisites from RORs / New Entities

  • API Access

    – Certification Authority (CA) signed security certificate

    – ROR to create a non-admin portal user under them

  • FTP Access

    –Certification Authority (CA) signed security certificate

    –ROR to share their PGP decryption key to new entity

    –SMT will restrict DELETE permissions on FTPS server, this may cause a few ROR’s FTPS scripts to fail/throw errors if they try to delete files after downloading. Those scripts need to be modified to avoid such errors.


Request for vendor api access

Request for Vendor API Access

Contact SMT Help Desk by sending the request form* to [email protected] to create a ticket

Day 0

ROR activity

Create non-admin portal user for the new entity under ROR account

START

SMT activity

The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location.

Business days from previous milestone

x days

Perform request information completeness validation

1-5 days

Share portal user information and new entity’s SSL security certificate to SMT

1-10 days

SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager

SMT shares ROR’s API account access details to new entity

END

Authorized?

YES

No Authorization email Received or Missing Request Form Data

Close the ticket if no response received within 10 days after 2 reminders

5-10 days

SMT conducts initial configuration and troubleshooting session to complete integration

Authorization Received

1st Reminder e-mail (after 5 business days)

2nd follow up by phone call / Operations Manager intervention

END

After 10 days

After 10 days

After 10 days

No Valid Authorization or Missing Request Data


Request for vendor ftp access

Request for Vendor FTP Access

Contact SMT Help Desk by sending the request form* to [email protected] to create a ticket

Day 0

ROR activity

Share PGP decryption key with new entity

START

SMT activity

The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location.

Business days from previous milestone

x days

Perform request information completeness validation

New entity shares SSL Security Certificate

1-5 days

1-10 days

SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager

Add restrict DELETE permissions for existing FTPS of ROR files

END

Authorized?

YES

Enable additional access for new entity to existing FTPS of ROR

No Authorization email Received or Missing Request Form Data

Close the ticket if no response within 10 days after 2 reminders

5-10 days

1st Reminder e-mail (after 5 business days)

2nd follow up by phone call / Operations Manager intervention

Authorization Received

SMT conducts initial configuration and troubleshooting session to complete integration

END

After 10 days

No Valid Authorization or Missing Request Data


Smt update to amwg

ROR REQUEST FORM

FOR Vendor API & FTP Access


Ftps access multiple duns scenario

FTPS Access - Multiple DUNS Scenario

The access can be restricted at DUNS/folder level and content level.

e.g. If a ROR want its partner to have access to only a subset of folders or only for specific type of content (i.e. interval usage LSE, adhoc reports, enrollment reports etc.) it can be provisioned accordingly.


Smt update to amwg

SMT Security Authorization Validation Surrounding New Ad Hoc Processes Including:1. Historical Backfill2. Subscription for New Customer Enrollment3. Vendor Access on Behalf of ROR to FTPs and API4. ROR Acquisitions and Mergers 5. ROR Administrator Registration when No Authorized Administrators Exist


Smt security authorization validation surrounding new ad hoc processes

  • Historical Backfill and Subscription for New Customer Enrollment

  • Security Validation Includes:

  • Validated request form information

  • DUNS match valid DUNS for requesting ROR on SMT FTPS folder

SMT Security Authorization Validation Surrounding New Ad Hoc Processes


Smt security authorization validation surrounding new ad hoc processes1

  • Vendor Access on Behalf of ROR to FTPS and / or API

  • Security Validation Includes:

  • Validated help desk ticket request information

  • Acquire written approval from ROR

  • Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations)

  • Acquire written approval from vendor

  • Acquire credentials from ROR IT department

SMT Security Authorization Validation Surrounding New Ad Hoc Processes


Smt security authorization validation surrounding new ad hoc processes2

  • ROR Acquisitions and Mergers

  • Security Validation Includes:

  • Validated help desk ticket request information

  • Verify Acquisition / Merger information from independent source (business announcement via web and TDSP Rep Relations

  • Acquire written approval from Acquiring / First Merging ROR

  • Acquire written approval from Acquisitioned / Second Merging ROR

  • Verify authors of Acquiring / Acquisitioned or Merging RORs written approvals are in good standing employment with ROR (human resources and TDSP Rep Relations)

  • Acquire credentials from ROR IT department

SMT Security Authorization Validation Surrounding New Ad Hoc Processes


Smt security authorization validation surrounding new ad hoc processes3

  • ROR Administrator Access Registration when No Authorized Administrators Exist

  • Security Validation Includes:

  • Validated help desk ticket request information

  • Acquire written approval from ROR (resource other than the one requesting administrator access)

  • Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations)

  • Verify ROR Administrator is in good standing employment with ROR (human resources and TDSP Rep Relations)

SMT Security Authorization Validation Surrounding New Ad Hoc Processes


Update on smt s 3 rd party access system development

Update on SMT’s 3rd Party Access System Development


Project schedule

Project Schedule

1st Quarter

2nd Quarter

3rd Quarter

4th Quarter

2014

2013

1st Quarter

2nd Quarter

3rd Quarter

4th Quarter

Third-Party Design AMIT / SMT DO

Security Validation

Third-Party Security Independent Review

SMT Design Assessment

Security Validation

Third-Party Customer Experience Review

Additional Solution Requirements

SMT Customer Experience Changes

Third-Party Technical Design & Development

Third-Party Volunteer Testers Technical Integration Sessions and Testing

Third-Party Market Integration / Instruction Webinars

Legend

Third-Party Solution SIT and UAT Testing

Future Task

In Process

Completed

Third-Party Implementation


Smtdo third party updates

SMTDO – Third Party Updates

SMTDO Webinar Schedule

June 20th – 10:00 – 11:00 a.m. (This date may potentially be rescheduled due to Market conflict)


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